| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE/NSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL VOLUME THROUGH SELF-TRADES IN SCRIP OF VERTEX SPINNING LTD.
DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSE A(2) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF VERTEX SPINNING LTD.
|
IMPOSED PENALTY RS.25,00,000
31-JAN-2018
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.39,73,750 VIDE CONSENT ORDER)
16-JAN-2019
|
SAT: SAT VIDE ITS ORDER DATED 07/12/2018 CONDONED THE DELAY OF 21 DAYS IN FILING OF APPEAL. APPEAL AND MISC.APPLICATION DISPOSED OFF IN TERMS OF SETTLEMENT. NO COSTS
SEBI VIDE ITS CONSENT ORDER DATED 16/01/2019 DISPOSED OFF THE CASE AS THE APPLICANT HAS PAID RS.39,73,750.00 VIDE DEMAND DRAFT NO 048121 DATED 30/11/2018 TOWARDS SETTLEMENT CHARGES
|
| 262 |
|
|
JMP SECURITIES PVT.LTD.
(PAN:AAACJ8850C)
(Member : BSE)
|
|
|
ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION
ALLEGED FAILURE IN COLLECTION OF ADEQUATE MARGIN
DID NOT REFUND MONEY COLLECTED UNDER CIS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED MISUTILISATION OF CLIENTS FUNDS
ALLEGED DELAY IN DELIVERY OF SECURITIES WITHIN STIPULATED TIME
ALLEGED NON-COMPLIANCE OF REQUIREMENTS OF UNIQUE CLIENT CODE
ALLEGED DISCREPANCIES IN MAINTENANCE OF CLIENT REGISTRATION FORMS & CLIENT AGREEMENT
ALLEGED FAILURE IN ENTERING INTO SEPARATE AGREEMENTS WITH JOBBERS
ALLEGED FAILURE IN EXECUTING AGREEMENTS ON STAMP PAPER
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.8,50,000 VIDE CONSENT ORDER)
28-JUL-2010
|
|
| 263 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/COCSE/SKSE/NSE/CMBSE/VSE/BGSE/ICSE)
|
|
|
INDULGED IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF IFSL LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 28-SEP-2005 TILL FURTHER ORDERS
28-SEP-2005
|
CONFIRMED INTERIM ORDER DATED 28/09/2005
|
| 264 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SAYAJI HOTELS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
14-MAR-2011
|
|
| 265 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/CMBSE/NSE/SKSE/VSE/ICSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION THROUGH CIRCULAR TRADES IN SCRIP OF PARSOLI CORP.LTD.
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, INDULGED IN MANIPULATIVE ACTIVITIES AND DID NOT ADHERE TO STATUTORY REQUIREMENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1) TO A(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF PARSOLI CORP.LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.7,00,000 VIDE CONSENT ORDER)
08-MAR-2011
|
|
| 266 |
|
|
JOINDRE CAPITAL SERVICES LTD.
(PAN:AAACJ1480E)
(Member : BSE/BGSE/COCSE/SKSE/VSE/CMBSE/NSE/ICSE)
|
|
|
ALLEGED VIOLATION OF REGULATIONS 4(1),4(2) (A),(B),(E),(G) AND (N) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ADANI EXPORTS LTD.
ALLEGED VIOLATION OF REGULATIONS 7(A) (1) TO (5) OF SEBI (STOCK BROKERS AND SUB-BROKERS) REGULATIONS, 1992 IN MATTER OF ADANI EXPORTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
26-DEC-2008
|
|
| 267 |
|
|
JRK STOCK BROKING PVT.LTD.
(PAN:AABCJ8648K)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 268 |
|
|
JSEL SECURITIES LTD.
(Member : BSE)
|
|
|
ALLEGED FAILURE IN MAINTAINING INTEGRITY, PROMPTITUDE AND FAIRNESS, DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE, DID NOT ADHERE TO STATUTORY REQUIREMENTS AND DID NOT HAVE ADEQUATE STAFF & ARRANGEMENTS TO RENDER FAIR, PROMPT & COMPETENT SERVICES TO CLIENTS VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),A(5) AND PARA B(8) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,00,000 VIDE CONSENT ORDER)
12-MAY-2011
|
|
| 269 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED FAILURE IN MAINTENANCE OF INTEGRITY, PROMPTITUDE & FAIRNESS AND DID NOT EXERCISE DUE SKILL, CARE & DILIGENCE VIOLATING REGULATION 7 READ WITH CLAUSES A(1),A(2),D(4) AND D(5) OF CODE OF CONDUCT UNDER SCHEDULE II OF SEBI (STOCK BROKERS AND SUB BROKERS) REGULATIONS, 1992 IN MATTER OF MOH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,00,000 VIDE CONSENT ORDER)
28-MAR-2011
|
|
| 270 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED NON-EXERCISE OF DUE CARE & DILIGENCE IN CASE OF MANNA GLASS TECH INDUSTRIES LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 271 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED INDULGENCE IN PRICE MANIPULATION AND IRREGULAR TRANSACTIONS IN SCRIP OF OJAS TECHNOCHEM PRODUCTS LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,50,000 VIDE CONSENT ORDER)
20-NOV-2007
|
|
| 272 |
|
|
JYOTISH BHOGILAL STOCK BROKERS PVT.LTD.
(PAN:AAACJ5486G)
(Member : ASE)
|
|
|
ALLEGED FAILURE IN EXERCISING DUE SKILL, CARE AND DILIGENCE WHILE DEALING IN SCRIP OF MONALISA INFOTECH LTD.
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
19-OCT-2011
|
|
| 273 |
|
|
K & A SECURITIES PVT.LTD.
(PAN:AAACK1251G)
(Member : NSE/BSE)
|
|
|
ALLEGED NON-SEGREGATION OF CLIENT FUNDS FROM BROKERS FUNDS
ALLEGED INDULGENCE IN TRANSACTIONS INVOLVING RECEIPT AND PAYMENT IN CASH
ALLEGED ALLOWING CLIENTS TO TRADE IN SPITE OF DEBIT BALANCE
ALLEGED FAILURE IN ISSUANCE OF CONTRACT NOTES
ALLEGED FAILURE IN COLLECTION OF MARGIN FROM CLIENTS
ALLEGED PROVIDING TRADING TERMINALS TO SUB-BROKERS NOT REGISTERED AS AUTHORISED PERSON
ALLEGED PROVIDING TRADING TERMINALS TO ITS CLIENTS
DEALT WITH UN-REGISTERED SUB-BROKERS
ALLEGED MISLEADING INVESTORS BY INDULGING INTO FRAUDULENT PRACTICES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.12,00,000 VIDE CONSENT ORDER)
27-APR-2012
|
|
| 274 |
|
|
K.PRASAD & CO.
(Member : CSE)
|
|
|
ALLEGED DELAY IN MAKING PAYMENT TO CLIENTS
ALLEGED FAILURE IN SEGREGATING CLIENTS FUNDS AND SECURITIES
ALLEGED INDULGENCE IN REGISTRATION OF CLIENTS WITHOUT ANY VERIFICATION OF THE ANTECEDENTS OR WITHOUT A INTRODUCER
ALLEGED INDULGENCE IN MAINTAINING UNACKNOWLEDGED (BY CLIENTS) DUPLICATE COPIES OF CONTRACT NOTES
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)
16-AUG-2010
|
|
| 275 |
|
|
KAMAL KUMAR JALAN SECURITIES PVT.LTD.
(PAN:AAACK5617J)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 276 |
|
|
KANAK SHAH SHARE & STOCK BROKERS
(Member : ASE)
|
|
|
DEALT WITH UN-REGISTERED SUB-BROKERS
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.25,000, ADMINISTRATION CHARGES RS.10,000 VIDE CONSENT ORDER)
27-APR-2009
|
|
| 277 |
|
|
KAYAN SECURITIES PVT.LTD.
(PAN:AABCK3359A)
(Member : BSE)
|
|
|
ALLEGED INDULGENCE IN CREATION OF ARTIFICIAL VOLUME THROUGH REVERSAL OF TRADE TRANSACTIONS IN ILLIQUID STOCK OPTIONS AT BSE
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
14-MAR-2023
|
|
| 278 |
|
|
KEDAR NATH AGRAWAL
|
|
|
|
KEDAR NATH AGRAWAL,M/S
(Member : NSE)
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN EVASION OF MARGIN MONEY
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
ALLOWED TERMINAL TO UNAUTHORISED USERS
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-DEC-2009 TO 27-DEC-2009
18-NOV-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.32,00,000, LEGAL EXPENSES RS.1,50,000 VIDE CONSENT ORDER)
24-SEP-2010
|
SAT: IMPUGNED ORDER DATED 18/11/2009 SET ASIDE AS APPELLANT HAS PAID RS.32,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,50,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 279 |
|
|
KEDAR NATH AGRAWAL,M/S
(Member : NSE)
|
|
|
|
KEDAR NATH AGRAWAL
|
|
DID NOT MAINTAIN SEGREGATION BETWEEN CLIENT FUNDS AND OWN FUNDS
INDULGED IN EVASION OF MARGIN MONEY
DID NOT REPORT SPOT TRANSACTIONS TO THE EXCHANGE
PERMITTED TRADING TERMINALS AT UNAUTHORISED LOCATIONS
ALLOWED TERMINAL TO UNAUTHORISED USERS
DID NOT FRAME CODE OF INTERNAL PROCEDURES AND CONDUCT FOR PREVENTION OF INSIDER TRADING
|
SUSPENDED REGISTRATION AS STOCK BROKER FROM 08-DEC-2009 TO 27-DEC-2009
18-NOV-2009
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.32,00,000, LEGAL EXPENSES RS.1,50,000 VIDE CONSENT ORDER)
24-SEP-2010
|
SAT: IMPUGNED ORDER DATED 18/11/2009 SET ASIDE AS APPELLANT HAS PAID RS.32,00,000 TOWARDS SETTLEMENT CHARGES AND RS.1,50,000 TOWARDS LEGAL EXPENSES, AS PER CONSENT ORDER
|
| 280 |
|
|
KEDIA CAPITAL SERVICES PVT.LTD.
(PAN:AAECK6735H)
(Member : BSE/NSE)
|
|
|
ALLEGED ASSOCIATING WITH UNREGULATED ALGORITHMIC TRADING PLATFORMS THAT PROMISED GUARANTEED RETURNS VIOLATING SEBI CIRCULAR SEBI/HO/MIRSD/DOP/P/CIR/2022/117 DATED 02/09/2022 AND CLAUSE A(2) AND A(5) OF CODE OF CONDUCT UNDER SCHEDULE II READ WITH REGULATION 9 OF SEBI (STOCK BROKERS) REGULATIONS, 1992
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
17-MAR-2026
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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| Page 14 of 33
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